Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James & Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Philip Thomas Maurer | 1571068 | 1 | 08/31/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Rodriguez Ramirez | 6497393 | 1 | 08/14/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| James Alexander Baber | 2810909 | 1 | 08/14/2017 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| William Joseph Konchal | 1092372 | 2 | 08/02/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Warren Mesker | 2102727 | 1 | 07/14/2017 | Customer Dispute | Award / Judgment | $81,533.20 | $85,238.80 | See FINRA Report |
| Michael Walter Ollmann | 2429193 | 2 | 07/07/2017 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See FINRA Report |
| Jeannie Marie Whitlock Gravelle | 4629283 | 1 | 06/20/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Dale Watson | 4063528 | 1 | 06/14/2017 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Clay Cale Rucker | 1347169 | 1 | 06/09/2017 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Joseph Erik Zenker | 2711588 | 5 | 06/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |